DETAILED ACTION
Notice of Pre-AIA or AIA Status
1. The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Continued Examination Under 37 CFR 1.114
2. A request for continued examination under 37 CFR 1.114, including the fee set forth in 37 CFR 1.17(e), was filed in this application after final rejection. Since this application is eligible for continued examination under 37 CFR 1.114, and the fee set forth in 37 CFR 1.17(e) has been timely paid, the finality of the previous Office action has been withdrawn pursuant to 37 CFR 1.114. Applicant's submission filed on 29 October 2025 has been entered.
Response to Amendment
3. The amendment filed 19 March 2025 has been received and considered for examination. Claims 1-4, 6, 8-18, and 20-32 are presently pending and being examined herein.
4. All rejections and objections from the previous Office action are withdrawn in view of Applicant’s amendment.
5. New grounds of rejection under 35 U.S.C. 102(a)(1) and 35 U.S.C. 103 are necessitated by the amendments, as detailed below.
Claim Objections
6. Claim 2 is objected to because of the following informalities: “the exchange mechanism” should read --the at least one heat exchange mechanism--, for clear reference to the possible multiple mechanisms of claim 1.
7. Claim 3 is objected to because of the following informalities: “the heat exchange mechanism” should read --the at least one heat exchange mechanism--.
8. Claim 15 is objected to because of the following informalities: recitations of “the UV lamp module assembly” and “the UV lamp module assembly” should each be replaced with --the at least one UV lamp module assembly--.
9. Claim 29 is objected to because of the following informalities: last line of stanza c), “the UV lamp assembly” should read --the UV lamp module assembly--.
Appropriate correction is required.
Claim Interpretation
10. The following is a quotation of 35 U.S.C. 112(f):
(f) Element in Claim for a Combination. – An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
The following is a quotation of pre-AIA 35 U.S.C. 112, sixth paragraph:
An element in a claim for a combination may be expressed as a means or step for performing a specified function without the recital of structure, material, or acts in support thereof, and such claim shall be construed to cover the corresponding structure, material, or acts described in the specification and equivalents thereof.
11. The claims in this application are given their broadest reasonable interpretation using the plain meaning of the claim language in light of the specification as it would be understood by one of ordinary skill in the art. The broadest reasonable interpretation of a claim element (also commonly referred to as a claim limitation) is limited by the description in the specification when 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is invoked.
As explained in MPEP § 2181, subsection I, claim limitations that meet the following three-prong test will be interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph:
(A) the claim limitation uses the term “means” or “step” or a term used as a substitute for “means” that is a generic placeholder (also called a nonce term or a non-structural term having no specific structural meaning) for performing the claimed function;
(B) the term “means” or “step” or the generic placeholder is modified by functional language, typically, but not always linked by the transition word “for” (e.g., “means for”) or another linking word or phrase, such as “configured to” or “so that”; and
(C) the term “means” or “step” or the generic placeholder is not modified by sufficient structure, material, or acts for performing the claimed function.
Use of the word “means” (or “step”) in a claim with functional language creates a rebuttable presumption that the claim limitation is to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites sufficient structure, material, or acts to entirely perform the recited function.
Absence of the word “means” (or “step”) in a claim creates a rebuttable presumption that the claim limitation is not to be treated in accordance with 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph. The presumption that the claim limitation is not interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, is rebutted when the claim limitation recites function without reciting sufficient structure, material or acts to entirely perform the recited function.
Claim limitations in this application that use the word “means” (or “step”) are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action. Conversely, claim limitations in this application that do not use the word “means” (or “step”) are not being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, except as otherwise indicated in an Office action.
12. This application includes one or more claim limitations that do not use the word “means,” but are nonetheless being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, because the claim limitation(s) uses a generic placeholder that is coupled with functional language without reciting sufficient structure to perform the recited function and the generic placeholder is not preceded by a structural modifier. Such claim limitation(s) is/are: “heat exchange mechanism” in claim 1.
Because this/these claim limitation(s) is/are being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, it/they is/are being interpreted to cover the corresponding structure described in the specification as performing the claimed function, and equivalents thereof. The heat exchange mechanism is referenced in par 0027 as “one or more of a printed circuit board, a metal core printed circuit board, a thermoelectric cooling device, a vapor chamber, a heatsink, a heat dissipation structure, a thermal transfer material, and a material thermally coupled to a fluid”.
If applicant does not intend to have this/these limitation(s) interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph, applicant may: (1) amend the claim limitation(s) to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph (e.g., by reciting sufficient structure to perform the claimed function); or (2) present a sufficient showing that the claim limitation(s) recite(s) sufficient structure to perform the claimed function so as to avoid it/them being interpreted under 35 U.S.C. 112(f) or pre-AIA 35 U.S.C. 112, sixth paragraph.
Claim Rejections - 35 USC § 102
13. The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless –
(a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention.
14. Claims 29 and 31-32 are rejected under 35 U.S.C. 102(a)(1) as being anticipated by Zhang et al (US 2019/0142987 A1).
15. Regarding claim 29, Zhang teaches an irradiation apparatus (“disinfecting apparatus includes…disinfection devices generating light”, Abstract) comprising:
at least one irradiation chamber for a fluid (“generate light for disinfecting liquid inside the enclosed chamber”, par 0008) having a surface (FIG. 1A, container sidewall has an inner surface) and containing a material to be irradiated (liquids may carry infectious pathogenic microorganisms, such as bacteria, spores, viruses, and fungi, that need to be disinfected, par 0004), the at least one irradiation chamber including a sidewall (FIG. 1A) and having a single port (FIG. 1A, chamber shown with single port at top). The limitation for fluid flow into and out of the at least one irradiation chamber describes an intended use of the apparatus, which carries no patentable weight. "[A]pparatus claims cover what a device is, not what a device does." Hewlett-Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1469, 15 USPQ2d 1525, 1528 (Fed. Cir. 1990), see MPEP 2114(II). Zhang teaches that the container may contain an inlet and an outlet, not shown, or not have any inlet or outlet such as a fish tank (par 0031), exhibiting that the single port could be used for fluid flow into and out of the chamber as a fish tank would be filled/emptied through the open top.
Zhang teaches that the irradiation apparatus further comprises a UV lamp module assembly (FIGS. 3A-3B include UV light source package 316), and
a support structure that secures the UV lamp module assembly inside the at least one irradiation chamber (flange nut 306 and heat sink 308 screw together to mount UV assembly to sidewall, par 0058, FIG. 3B) to displace the UV lamp module assembly (FIG. 3B, support stem) from the sidewall of the at least one irradiation chamber (FIG. 1A, UV assembly 104 mounted to sidewall),
wherein the UV lamp module assembly (FIG. 3B) comprises:
one or more UV radiation sources (FIG. 3B, UV light source 316);
at least one UV-transparent window (UV window may be formed of material, such as quartz, fused silica, or sapphire, that is transparent to the UV light, par 0051) in contact with the fluid in the irradiation chamber (FIG. 3B, UV window 312 faces fluid; direct contact between the liquid and the device 200 may lead to fouling of the UV window 212, par 0055), to optically couple the one or more UV radiation sources to the fluid in the at least one irradiation chamber (UV window transparent to UV light generated by the UV light source package, par 0051);
at least one heatsink (heat sink 308, pars 0036-0039) comprising a flat surface (FIG. 3B, surface between heatsink 308 and UV light source package 316) in thermal contact with the fluid in the at least one irradiation chamber (“heat energy generated by the UV light source package 316 may be directly discharged into the liquid by the heat sink 308”, par 0064; FIG. 3B, heat sink 308), wherein the one or more UV radiation sources are positioned between the at least one UV-transparent window and the at least one heatsink (FIG. 3B, UV source 316 between UV window 312 and back surface of heatsink 308), wherein the at least one heatsink is positioned (FIG. 3B, heatsink 308 between UV source 316 and fluid in container 102) and thermally coupled between the one or more radiation sources and to the fluid in the at least one irradiation chamber to provide conductive heat transfer (heat sink may be formed of material that has a high heat transfer coefficient, such as copper, stainless steel, aluminum, or other suitable metal, par 0049) from the one or more UV radiation sources to the fluid in the at least one irradiation chamber (“heat energy generated by the UV light source package 316 may be directly discharged into the liquid by the heat sink 308”, par 0064), wherein the at least one heatsink forms a back surface of the UV lamp assembly (FIG. 3B, heat sink 308 forms back surface of cavity containing UV light source package 316);
one or more seals or gaskets (“two o-rings that ensure a tight liquid proof seal”, par 0063) disposed adjacent to the one or more UV radiation sources (FIG. 3B, O-ring 310 adjacent to UV light source package 316), to seal between the heatsink and the at least one UV-transparent window (FIG. 3B, O-ring 310 between UV window 312 and heatsink 308), to protect the one or more UV radiation sources from the fluid in the at least one irradiation chamber (o-ring 310 may prevent the liquid from leaking into the cavity 350, i.e., it may protect the electrical circuit of the UV light source package 316 from damages by the liquid, par 0063),
wherein the UV lamp module assembly is positioned within the irradiation apparatus (FIG. 3B, UV light source package 316 positioned within container 102) below a height of the single port (FIG. 1A, disinfection devices positioned below open top), to at least partially submerge the UV lamp module assembly in the fluid within the at least one irradiation chamber (each disinfection device may be submersible in the liquid, easily mounted to and dismounted from the containers/pipes by a pair of threads, par 0045), wherein heat is generated by the one or more UV radiation sources and transferred through the flat surface of the at least one heatsink (heatsink 308 includes flat surface for transferring heat from device, par 0056)
The limitation wherein heat generated by the one or more UV radiation sources and transferred through the flat surface of the at least one heatsink induces convection currents within the fluid in the at least one irradiation chamber describes an intended use of the apparatus and thus is not given patentable weight. "[A]pparatus claims cover what a device is, not what a device does." Hewlett-Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1469, 15 USPQ2d 1525, 1528 (Fed. Cir. 1990), see MPEP 2114(II). The fact that heat transferred into the fluid via the heat sink would establish the same physical conditions necessary to generate convection currents, i.e., a temperature gradient in the fluid receiving thermal energy is sufficient evidence that the prior art apparatus anticipates the claimed feature.
16. Regarding claim 31, Zhang teaches the irradiation apparatus of claim 29, wherein the support structure includes a support stem (FIG. 3B, heat sink 308 includes support stem projecting UV device into chamber).
17. Regarding claim 32, Zhang teaches the irradiation apparatus of claim 29, wherein the single port is formed within the sidewall (FIG. 1A, open top spatially located within container formed by sidewall 102). Zhang teaches that the container may contain an inlet and an outlet, not shown, or not have any inlet or outlet such as a fish tank (par 0031), the single port of an open-top fish tank being defined within the four sides i.e. within the sidewall.
Claim Rejections - 35 USC § 103
18. The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action:
A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made.
The factual inquiries for establishing a background for determining obviousness under 35 U.S.C. 103 are summarized as follows:
1. Determining the scope and contents of the prior art.
2. Ascertaining the differences between the prior art and the claims at issue.
3. Resolving the level of ordinary skill in the pertinent art.
4. Considering objective evidence present in the application indicating obviousness or nonobviousness.
This application currently names joint inventors. In considering patentability of the claims the examiner presumes that the subject matter of the various claims was commonly owned as of the effective filing date of the claimed invention(s) absent any evidence to the contrary. Applicant is advised of the obligation under 37 CFR 1.56 to point out the inventor and effective filing dates of each claim that was not commonly owned as of the effective filing date of the later invention in order for the examiner to consider the applicability of 35 U.S.C. 102(b)(2)(C) for any potential 35 U.S.C. 102(a)(2) prior art against the later invention.
19. Claims 1-3, 6, 9, 13, 15, 16, 20, 21, 23, 27, and 30 are rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al (US 2019/0142987 A1).
20. Regarding claim 1, Zhang teaches an irradiation apparatus (“disinfecting apparatus includes…disinfection devices generating light”, Abstract) comprising:
at least one irradiation chamber for containing a volume of fluid to be irradiated (“generate light for disinfecting liquid inside the enclosed chamber”, par 0008), the at least one irradiation chamber including a sidewall (FIG. 1A, container 102) and at least one inlet port (“an inlet and an outlet”, par 0030);
at least one UV lamp module assembly (FIGS. 3A-3B include UV light source 316) secured inside the at least one irradiation chamber by a support structure coupled to a back surface of the UV lamp assembly (flange nut 306 couples with heat sink 308 via threaded connection to mount i.e. support the device on the wall of the container, par 0058, FIG. 3B) to displace the UV lamp module assembly from the sidewall of the at least one irradiation chamber (FIG. 3B, UV light source package 316 projected from container wall 102), the at least one UV lamp module assembly comprising:
one or more UV radiation sources (“UV light emitting diodes that generate disinfecting UV light”, par 0030) positioned inside the at least one UV lamp module assembly (FIG. 3B, UV light source package 316 located inside UV lamp assembly 300) optically coupled to the fluid in the at least one irradiation chamber (“UV light may be steered toward the liquid”, par 0060) via at least one UV-transparent window (“UV window 312…that is transparent to the UV light”, par 0061) that provides a front surface of the at least one UV lamp module assembly (FIG. 3B, UV window 312 faces fluid) in contact with the fluid in the at least one irradiation chamber (“the direct contact between the liquid and the device 300 may lead to fouling of the UV window 312”, par 0065);
one or more seals or gaskets (“two o-rings that ensure a tight liquid proof seal”, par 0063) disposed adjacent to the one or more UV radiation sources (first o-ring 310 disposed adjacent to cavity 350 that houses UV radiation source 316, FIG. 3B) to protect the one or more UV radiation sources from the fluid in the at least one irradiation chamber (“o-ring 310 may prevent the liquid from leaking into the upper space (cavity) 350”, par 0057); and
at least one heat exchange mechanism (“heat sink 308”, pars 0056-0059) inside the at least one UV lamp module assembly (heat sink 308 located inside container 102, FIG. 3B) and thermally coupled between the one or more radiation sources and the fluid in the at least one irradiation chamber (“heat energy generated by the UV light source package 316 may be directly discharged into the liquid by the heat sink 308”, par 0064; FIG. 3B, heat sink 308), the at least one heat exchange mechanism providing the back surface of the at least one UV lamp module assembly in contact with the fluid in the at least one irradiation chamber (FIG. 3B, heat sink 308 in contact with back surface of UV light source package 316 and fluid in chamber);
wherein the at least one UV lamp module assembly is positioned by the support structure (flange nut 306 and heat sink 308 mount UV assembly to sidewall, par 0058, FIG. 3B) within the at least one irradiation chamber a distance from the sidewall (UV light source positioned a distance from container wall 102, FIG. 3b) to submerge the one or more UV radiation sources within the fluid in the at least one irradiation chamber (each disinfection device may be submersible in the liquid, easily mounted to and dismounted from the containers/pipes by a pair of threads, par 0045).
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Zhang does not explicitly teach that the port in the FIG. 1A embodiment is positioned within the sidewall (par 0030) but this port likely penetrates the chamber lid as shown in FIG. 1F.
In a different embodiment, Zhang teaches that the inlet port is positioned within the sidewall (orifice on the chamber wall, par 0037-0038) for a flow of the fluid into the at least one irradiation chamber (“inject laminar flow pillar to disinfection device”, par 0037), thereby providing an air space within the at least one irradiation chamber above a surface of the volume of fluid (FIG. 1C, air gap 126 between the fluid laminar flow pillar and the inner surface of the pipe, par 0037). This configuration is taught as advantageous because the air space has a refractive index of 1.0 which promotes total internal reflection, allowing more of the UV radiation to be absorbed within the fluid (par 0038).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify the base apparatus of Zhang to include an inlet port positioned within the sidewall. Doing so would predictably enable fluid flow into or out of the chamber in a similar manner, as Zhang demonstrates in an analogous embodiment. Further, this configuration would allow an air gap to be created above the fluid, as Zhang teaches that operating the apparatus with an air gap improves UV absorption by the fluid in an embodiment that employs analogous UV irradiation devices for disinfection.
Zhang further neglects to explicitly teach that heat causes convection currents within the fluid in the irradiation chamber, but this describes an intended use of the apparatus. "[A]pparatus claims cover what a device is, not what a device does." Hewlett-Packard Co. v. Bausch & Lomb Inc., 909 F.2d 1464, 1469, 15 USPQ2d 1525, 1528 (Fed. Cir. 1990), see MPEP 2114(II). Zhang does teach the displacement of the at least one UV lamp module assembly from the sidewall (FIG. 3B, UV light source 316 projects from wall of container 102) and heat generated by the one or more UV radiation sources is transferred into the fluid via the heat sink (middle portion 331 of the heat sink 308 may be directly exposed to the liquid so that the heat energy generated by the UV light source package 316 may be directly discharged into the liquid, par 0059). Therefore, a similar heat transfer mechanism into the fluid would inherently cause convection currents and thus also cause mixing of the volume of fluid within the at least one irradiation chamber. See MPEP 2112.01(I).
21. Regarding claim 2, Zhang teaches the irradiation apparatus of claim 1, wherein the exchange mechanism comprises one or more of a printed circuit board, a metal core printed circuit board, a thermoelectric cooling device, a vapor chamber, a heatsink, a heat dissipation structure, a thermal transfer material, and a material thermally coupled to a fluid (“heat sink”, pars 0056-0059, “directly exposed to the liquid”, par 0059; “may dissipate the heat energy”, par 0059).
22. Regarding claim 3, Zhang teaches the irradiation apparatus of claim 2, wherein the heat exchange mechanism is selected from the group consisting of a heatsink, a thermal transfer material, and a combination thereof (heat sink, pars 0056-0059; heat sink may transfer the heat energy from the UV light source package to the cap, and the cap in turn may discharge the heat energy into the liquid, par 0078).
23. Regarding claim 6, Zhang teaches the irradiation apparatus of claim 1, wherein the one or more UV radiation sources comprise one or more UV-C radiation sources (UV emissions at 265 nm…can be generated by group III nitride semiconductor UV light emitting diodes, par 0005).
24. Regarding claim 9, Zhang teaches the irradiation apparatus of claim 1, and further teaches that a wavelength of 265 nm is selected because of “maximal UV germicidal effect” (par 0005) as applied to systems “designed to disinfect water contaminated by microorganisms like bacteria and viruses” (par 0005), reading upon the limitation that one or more wavelengths of the one or more UV radiation sources are selected based on an identification of a contaminant in the material to be irradiated.
25. Regarding claim 13, Zhang teaches the irradiation apparatus of claim 1, wherein the one or more UV radiation sources comprise a plurality of UV radiation sources (“multiple UV disinfection devices”, par 0043; “the disinfection devices are described to contain UV light emitting diodes that generate disinfecting UV light”, par 0030). Zhang does not specifically teach an embodiment that includes a plurality of embodiments resembling the FIG. 1A container connected serially as claimed.
However, Zhang further teaches the embodiment of FIG. 1D, which “may include multiple linear pipes and elbows…as shown in FIG. 1B or FIG. 1C” (par 0039) to host a plurality of UV radiation sources (disinfection device 134, FIG. 1D has multiple disinfection devices 134) and wherein the at least one irradiation chamber comprises a plurality of irradiation chambers (elbow 124 to chamber orifice, FIG. 1C), each of the plurality of irradiation chambers having at least one inlet port (orifice in pipe 120, FIG. 1C) and one outlet port (pipe 122 with outgoing flow, FIG. 1C), and wherein all of the UV radiation sources are thermally coupled to the irradiation chambers (“in embodiments, the heat energy generated by the UV light source package may be efficiently dissipated into the liquid through the heat sink and the cap”, par 0054).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to include a plurality of irradiation chambers as taught in the various embodiments of Zhang, as Zhang explains that an efficient design will maximize UV duration time (par 0006).
26. Regarding claim 15, Zhang teaches a device that would carry out, in its normal operation, a method for irradiating a fluid to be irradiated in an irradiation chamber (“generate light for disinfecting liquid inside the enclosed chamber”, par 0008; “liquids may carry infectious pathogenic microorganisms, such as bacteria, spores, viruses, and fungi, that need to be disinfected”, par 0004), the method comprising the steps of:
providing an irradiation apparatus (“disinfecting apparatus includes…disinfection devices generating light”, Abstract) comprising:
at least one irradiation chamber for containing a volume of fluid to be irradiated (“generate light for disinfecting liquid inside the enclosed chamber”, par 0008), the at least one irradiation chamber including a sidewall (FIG. 1A) and at least one inlet port (“an inlet and an outlet”, par 0031) for a flow of the fluid into the at least one irradiation chamber (liquid to be disinfected may flow into the container through the inlet, par 0031); and
at least one UV lamp module assembly (FIGS. 3A-3B include UV light source 316) comprising:
one or more UV radiation sources (“UV light emitting diodes that generate disinfecting UV light”, par 0030; FIG. 3B, 316) optically coupled to the fluid in the at least one irradiation chamber (“UV light may be steered toward the liquid”, par 0060) via at least one UV-transparent window (“UV window 312…that is transparent to the UV light”, par 0061) in contact with the fluid in the at least one irradiation chamber (“the direct contact between the liquid and the device 300 may lead to fouling of the UV window 312”, par 0065);
one or more seals or gaskets (“two o-rings that ensure a tight liquid proof seal”, par 0063) disposed adjacent to the one or more UV radiation sources (first o-ring 310 disposed adjacent to cavity 350 that houses UV radiation source 316, FIG. 3B) to protect the one or more UV radiation sources from the fluid in the at least one irradiation chamber (“o-ring 310 may prevent the liquid from leaking into the upper space (cavity) 350”, par 0057); and
at least one heat exchange mechanism (“heat sink 308”, pars 0056-0059) thermally coupled between the one or more radiation sources and the fluid in the at least one irradiation chamber (“heat energy generated by the UV light source package 316 may be directly discharged into the liquid by the heat sink 308”, par 0064; FIG. 3B, heat sink 308);
flowing the fluid to be irradiated through the at least one inlet port into the at least one irradiation chamber (liquid to be disinfected may flow into the container through the inlet, par 0031).
Zhang does not specifically teach for the FIG. 3 embodiment wherein the fluid only partially fills the at least one irradiation chamber, thereby providing an airspace above a surface of the volume of the fluid. In a different embodiment, Zhang teaches that the inlet port is positioned within the sidewall (orifice on the chamber wall, par 0037-0038) such that the fluid only partially fills the at least one irradiation chamber (“air gap 126 between the fluid laminar flow pillar 128 and the inner surface of the pipe 120”, par 0037), thereby providing an air space within the at least one irradiation chamber above a surface of the volume of fluid (FIG. 1C, air gap 126). This configuration is taught as advantageous because the air space has a refractive index of 1.0 which promotes total internal reflection, allowing more of the UV radiation to be absorbed within the fluid (par 0038).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to modify the base apparatus of Zhang to include an inlet port positioned within the sidewall. Doing so would predictably enable fluid flow into or out of the chamber in a similar manner, as Zhang demonstrates in an analogous embodiment. Further, this configuration would allow an air gap to be created above the fluid, as Zhang teaches that operating the apparatus with an air gap improves UV absorption by the fluid in an embodiment that employs analogous UV irradiation devices for disinfection.
Zhang teaches securing the UV lamp module assembly within the at least one irradiation chamber (flange nut 306 and heat sink 308 screw together to mount UV assembly to sidewall, par 0058, FIG. 3B) to at least partially submerge the one or more UV radiation sources and the at least one heat exchange mechanism beneath the surface of the volume of fluid within the at least one irradiation chamber (each disinfection device may be submersible in the liquid, easily mounted to and dismounted from the containers/pipes by a pair of threads, par 0045), wherein the UV lamp module assembly is secured within the at least one irradiation chamber by a support structure coupled to a sidewall of the at least one irradiation chamber (flange nut 306 and threaded stem of heat sink 308 secure UV lamp assembly to container wall 102, FIG. 3B, pars 0058-0059) so the UV lamp assembly is positioned a distance from the sidewall (FIG. 3B, UV lamp 316 enclosure positioned a distance from container wall 102); and
irradiating the fluid within the at least one irradiation chamber using the one or more UV radiation sources (dosage of the disinfecting light delivered to the fluid by the multiple disinfection devices, par 0042).
Zhang does not explicitly teach that heat causes convection currents within the fluid in the irradiation chamber, but Zhang does teach that the heat generated by the one or more UV radiation sources is transferred into the fluid via the heat sink (middle portion 331 of the heat sink 308 may be directly exposed to the liquid so that the heat energy generated by the UV light source package 316 may be directly discharged into the liquid, par 0059). Therefore, a similar heat transfer mechanism into the fluid would inherently cause convection currents and thus also cause mixing of the volume of fluid within the at least one irradiation chamber. See MPEP 2112.01(I).
27. Regarding claim 16, Zhang teaches the irradiation method of claim 15, wherein the exchange mechanism comprises one or more of a printed circuit board, a metal core printed circuit board, a thermoelectric cooling device, a vapor chamber, a heatsink, a heat dissipation structure, a thermal transfer material, and a material thermally coupled to a fluid (“heat sink”, pars 0056-0059, “directly exposed to the liquid”, par 0059; “may dissipate the heat energy”, par 0059).
28. Regarding claim 20, Zhang teaches the irradiation method of claim 15, wherein the one or more UV radiation sources comprise one or more UV-C radiation sources (UV emissions at 265 nm…can be generated by group III nitride semiconductor UV light emitting diodes, par 0005).
29. Regarding claim 21, Zhang teaches the irradiation method of claim 15, wherein the one or more UV radiation sources comprise a plurality of radiation sources (“multiple UV disinfection devices”, par 0043; “the disinfection devices are described to contain UV light emitting diodes that generate disinfecting UV light”, par 0030) arranged in an array (arrangement of disinfection devices 156, FIG. 1F).
30. Regarding claim 23, Zhang teaches the irradiation method of claim 15, and further teaches that a wavelength of 265 nm is selected because of “maximal UV germicidal effect” (par 0005) as applied to systems “designed to disinfect water contaminated by microorganisms like bacteria and viruses” (par 0005), reading upon the limitation that one or more wavelengths of the one or more UV radiation sources are selected based on an identification of a contaminant in the material to be irradiated.
31. Regarding claim 27, Zhang teaches the irradiation method of claim 15, wherein the one or more UV radiation sources comprise a plurality of UV radiation sources (“multiple UV disinfection devices”, par 0043; “the disinfection devices are described to contain UV light emitting diodes that generate disinfecting UV light”, par 0030). Zhang does not specifically teach an embodiment that includes a plurality of embodiments resembling the FIG. 1A container connected serially as claimed.
However, Zhang further teaches the embodiment of FIG. 1D, which “may include multiple linear pipes and elbows…as shown in FIG. 1B or FIG. 1C” (par 0039) to host a plurality of UV radiation sources (disinfection device 134, FIG. 1D has multiple disinfection devices 134) and the at least one irradiation chamber comprises a plurality of irradiation chambers (elbow 124 to chamber orifice, FIG. 1C), each of the plurality of irradiation chambers having at least one inlet port (orifice in pipe 120, FIG. 1C) and one outlet port (pipe 122 with outgoing flow, FIG. 1C), and wherein all of the UV radiation sources are thermally coupled to the irradiation chambers (“in embodiments, the heat energy generated by the UV light source package may be efficiently dissipated into the liquid through the heat sink and the cap”, par 0054).
Therefore, it would have been obvious to one of ordinary skill in the art, before the effective filing date of the claimed invention, to include a plurality of irradiation chambers as taught in the various embodiments of Zhang, as Zhang explains that an efficient design will maximize UV duration time (par 0006).
32. Regarding claim 30, Zhang teaches the irradiation apparatus of claim 1, wherein the support structure includes a support stem (FIG. 3B, heat sink 308 includes support stem projecting UV light source 316 into chamber).
33. Claims 4, 8, 10-12, and 14 are rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al (US 2019/0142987 A1) as applied to Claim 1 above, and further in view of Pagan et al (US 2019/0046675 A1).
34. Regarding claim 4, Zhang teaches the irradiation apparatus of claim 1, further comprising circuitry (“printed circuit board 317”, par 0062) capable of controlling “intensity of disinfecting light from each disinfection device” (par 0044). However, Zhang fails to teach one or more sensors used in conjunction with dynamically controlling the power to the one or more UV radiation sources.
Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) including a “monitoring/detection mechanism and control circuitry for dynamically controlling the delivery of UV radiation” (par 0032). Further, Pagan teaches that these control electronics “may include sensors by which the operating conditions and status of the UV radiation source may be determined” (par 0037), reading upon the limitation of one or more sensors that provide one or more sensor readings used in dynamically controlling the power to the one or more UV radiation sources based on one or more sensor readings.
Modification would entail combining the irradiation apparatus taught by Zhang with the sensors of operating conditions and UV radiation source status taught by Pagan. These sensors would predictably provide the same output information to improve control of the UV radiation power. Therefore, it would have been obvious to a person having ordinary skill in the art at the time of filing to add sensors to provide status information useful in controlling the power to the one or more UV radiation sources, as Pagan demonstrates the utility of such a monitoring/detection mechanism.
35. Regarding claim 8, Zhang teaches the irradiation apparatus of claim 1 but fails to teach that one or more wavelengths of the one or more UV radiation sources are dynamically adjustable.
Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) that includes a UV radiation source wherein “peak wavelengths may be dynamically selected and/or adjusted” (par 0032). This is advantageous because “a plurality of wavelengths may be utilized such that the action spectrum of a given organism can be targeted, thus improving disinfection efficiency” (par 0032).
By modifying the UV irradiation apparatus of Zhang such that one or more wavelengths of the one or more UV radiation sources are dynamically adjustable, one would predictably achieve the same result as taught by Pagan, enabling control of one or more wavelengths emitted by the radiation sources. Thus, it would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this modification, as the modified apparatus would similarly improve disinfection efficiency against various organisms.
36. Regarding claim 10, Zhang teaches the irradiation apparatus of claim 9, wherein the one or more UV radiation sources deliver one or more wavelengths to the material to be irradiated (use of 265-275 nm UV emissions for disinfection, par 0005). However, Zhang is silent as to whether these wavelengths induce fluorescence in the material to be irradiated, and fails to teach that this would allow for identification of a contaminant.
Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) wherein the one or more UV “wavelengths may induce fluorescence in the material to be irradiated thereby allowing for the identification of the contaminant in the material to be irradiated” (par 0032), providing specifically the ability to obtain “fluorescence spectra of NADH, and tryptophan, of particles with biological origin” (par 0033).
By combining the base device of Zhang with the capability to identify contaminants in the material to be irradiation while using the device at one or more wavelengths that can induce fluorescence in the material to be irradiated, one would predictably gain the ability to identify contaminants during operation of the irradiation apparatus. Therefore, it would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this modification, as Pagan shows contaminant identification is possible using fluorescence spectra obtained during the normal operational step of irradiating the contaminated fluid with UV light.
37. Regarding claim 11, Zhang teaches the irradiation apparatus of claim 1 wherein the UV light sources provide light at 265 nm (par 0005) selected from a group of LEDs that produce UV radiation in the range of 200 nm to 400 nm (par 0005). Zhang is silent regarding whether the one or more radiation sources are specifically capable of delivering two or more wavelengths to the material to be irradiated.
Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) wherein “one or more UV radiation sources may deliver one or more wavelengths, or a combination of wavelengths, to the material to be irradiated” (par 0032). Pagan teaches that this is advantageous, giving the example of a UV source emitting a combination of wavelengths “in the range of about 200-320 nm in order to saturate the absorption mechanism of nucleocapsids” (par 0033), viral structural proteins.
Modification would entail substituting the UV radiation source of Zhang with the UV radiation source of Pagan, capable of emitting a combination of wavelengths while still preserving the ability to emit the 265 nm germicidal UV light targeted by Zhang (par 0005). It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this substitution, as the upgraded UV radiation source would predictably provide a combination of UV wavelengths and the same advantages taught by Pagan.
38. Regarding claim 12, Zhang teaches the irradiation apparatus of claim 1 but fails to teach a micro plasma lamp. Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) wherein in an embodiment, “the UV source is a micro plasma lamp” (par 0051). Beyond providing the requisite UV radiation, Pagan teaches that “the micro plasma lamp is in direct contact with the fluid in chamber” thus providing “a direct thermal path between the lamp and the fluid, thereby cooling the lamp” (par 0051).
Modification would entail substituting the sealed UV LED package with a micro plasma lamp, which Pagan has shown provides suitable UV radiation and thermal transfer to the fluid. It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this substitution, as the micro plasma lamp would predictably serve the same irradiation and heat transfer needs.
39. Regarding claim 14, Zhang teaches the irradiation apparatus of claim 1 wherein a portion of the radiation necessarily transmits to some surfaces of the irradiation chamber (“UV light can be readily absorbed by fluid container's surface”, par 0005), but Zhang is silent regarding the ability to inhibit biofilm formation on the interior surfaces of the chamber.
Pagan teaches an analogous UV irradiation apparatus for fluids (pars 0029-0036) wherein “a portion of the radiation from the one or more radiation sources can be transmitted to surfaces of the one or more secondary chambers to inhibit biofilm formation” (par 0030), and that “far lower irradiances are required to achieve biofilm inhibition than would be necessary for transient irradiation” (par 0030). Pagan teaches that UV source are oriented to transmit UV radiation to all interior chamber surfaces in order to inhibit biofilm formation thereon (par 0031).
Therefore, it would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to modify the position of the UV emitters in the device of Zhang so that all interior surfaces are exposed to UV light as taught by Pagan. Doing so would predictably inhibit biofilm formation on the interior of the chamber by providing improved coverage of UV irradiation thereon.
40. Claim 17 is rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al (US 2019/0142987 A1) as applied to Claim 15 above, and further in view of Ruiz (US 2015/0228470 A1).
Zhang teaches the irradiation method of claim 15 but fails to teach that the heat exchange mechanism is coated with a water-safe material, a medical-safe material, or a food safe material.
Ruiz teaches an analogous UV radiator “for use in food processing or for the treatment of water” (Abstract) with “a contaminant and water-repellent coating…deposited on the radiator tube and/or the jacket tube” (par 0014). Ruiz teaches that such a coating is advantageous for its “UV stability, good abrasion resistance, good temperature resistance, and high degree of chemical stability” (par 0016).
Modification would entail coating the heat exchange mechanism of Zhang with a contaminant- and water-repellent coating as taught by Ruiz, considering that the high degree of chemical stability of such a coating would protect the heat exchange mechanism and ensure by preventing fouling that the UV illuminator package can be “easily mounted to and dismounted from the container for maintenance” (Zhang, par 0055).
It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to add this coating, as such a coating would predictably prevent fouling and degradation within the irradiation apparatus.
41. Claims 18, 22, 24-26, and 28 are rejected under 35 U.S.C. 103 as being unpatentable over Zhang et al (US 2019/0142987 A1) as applied to Claim 15 above, and further in view of Pagan et al (US 2019/0046675 A1).
42. Regarding claim 18, Zhang teaches the irradiation method of claim 15, wherein the irradiation apparatus comprises circuitry (“printed circuit board 317”, par 0062) capable of controlling “intensity of disinfecting light from each disinfection device” (par 0044). However, Zhang fails to teach one or more sensors providing sensor readings used in dynamically controlling the power to the one or more UV radiation sources.
Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) including a “monitoring/detection mechanism and control circuitry for dynamically controlling the delivery of UV radiation” (par 0032). Further, Pagan teaches that these control electronics “may include sensors by which the operating conditions and status of the UV radiation source may be determined” (par 0037), reading upon the limitation of one or more sensors which is used to dynamically control the power to the one or more UV radiation sources based on one or more sensor readings.
Modification would entail combining the irradiation apparatus taught by Zhang with the sensors of operating conditions and UV radiation source status taught by Pagan. These sensors would predictably provide the same output information to improve control of the UV radiation power. It would have been obvious to a person having ordinary skill in the art at the time of filing to add sensors to provide status information useful in controlling the power to the one or more UV radiation sources, as Pagan demonstrates the utility of such a monitoring/detection mechanism.
43. Regarding claim 22, Zhang teaches the irradiation method of claim 15 but fails to teach that one or more wavelengths of the one or more UV radiation sources are dynamically adjustable. Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) including a UV radiation source wherein “peak wavelengths may be dynamically selected and/or adjusted” (par 0032). This is advantageous because “a plurality of wavelengths may be utilized such that the action spectrum of a given organism can be targeted, thus improving disinfection efficiency” (par 0032).
By modifying the UV irradiation apparatus of Zhang such that one or more wavelengths of the one or more UV radiation sources are dynamically adjustable, one would predictably achieve the same result as taught by Pagan, enabling control of one or more wavelengths emitted by the radiation sources. Thus, it would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this modification, as the modified apparatus would similarly improve disinfection efficiency.
44. Regarding claim 24, Zhang teaches the irradiation method of claim 15, wherein the one or more UV radiation sources deliver one or more wavelengths to the material to be irradiated. However, Zhang is silent as to whether these wavelengths induce fluorescence in the material to be irradiated, and fails to teach that this would allow for identification of a contaminant.
Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) wherein the one or more “wavelengths may induce fluorescence in the material to be irradiated thereby allowing for the identification of the contaminant in the material to be irradiated” (par 0032), providing specifically the ability to obtain “fluorescence spectra of NADH, and tryptophan, of particles with biological origin” (par 0033).
By combining the base device of Zhang with the capability to identify contaminants in the material to be irradiation while using the device at one or more wavelengths that can induce fluorescence in the material to be irradiated, one would predictably gain the ability to identify contaminants during operation of the irradiation apparatus. It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this modification, as Pagan shows contaminant identification is possible using fluorescence spectra obtained during the normal operational step of irradiating the contaminated fluid with UV light.
45. Regarding claim 25, Zhang teaches the irradiation method of claim 15 but is silent regarding whether the one or more radiation sources are capable of delivering a combination of wavelengths to the material to be irradiated.
Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) wherein the “one or more UV radiation sources may deliver one or more wavelengths, or a combination of wavelengths, to the material to be irradiated” (par 0032). Pagan teaches that this is advantageous, giving the example of a UV source emitting a combination of wavelengths “in the range of about 200-320 nm in order to saturate the absorption mechanism of nucleocapsids” (par 0033), i.e., viral structural proteins.
Modification would entail substituting the UV radiation source of Zhang with the UV radiation source of Pagan, capable of emitting a combination of wavelengths while still preserving the ability to emit the 265 nm germicidal UV light targeted by Zhang (par 0005). It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this substitution, as the upgraded UV radiation source would predictably provide a combination of UV wavelengths and the same advantages taught by Pagan.
46. Regarding claim 26, Zhang teaches the irradiation method of claim 15 but fails to teach a micro plasma lamp.
Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) wherein in an embodiment, “the UV source is a micro plasma lamp” (par 0051). Beyond providing the requisite UV radiation, Pagan teaches that “the micro plasma lamp is in direct contact with the fluid in chamber” thus providing “a direct thermal path between the lamp and the fluid, thereby cooling the lamp” (par 0051).
Modification would entail substituting the sealed UV LED package with a micro plasma lamp, which Pagan has shown provides suitable UV radiation and thermal transfer to the fluid. It would have been obvious to a person having ordinary skill in the art, before the effective filing date of the claimed invention, to make this substitution, as the micro plasma lamp would predictably serve the same irradiation and heat transfer functions.
47. Regarding claim 28, Zhang teaches the irradiation method of claim 15 wherein a portion of the radiation necessarily transmits to surfaces of the irradiation chamber (“UV light can be readily absorbed by fluid container's surface”, par 0005), but Zhang is silent regarding the ability to inhibit biofilm formation on the surfaces.
Pagan teaches an analogous irradiation apparatus for fluids (pars 0029-0036) wherein “a portion of the radiation from the one or more radiation sources can be transmitted to surfaces of the one or more secondary chambers to inhibit biofilm formation” (par 0030), thus establishing that the transmission of UV radiation to the chamber surfaces would inhibit biofilm formation thereon.
Therefore, it would have been obvious to a person having ordinary skill in the art that transmitting a portion of UV radiation to the surfaces of the one or more irradiation chambers would predictably inhibit biofilm formation on these surfaces, considering the teaching and motivation by Pagan.
Response to Arguments
48. Applicant's arguments, see Remarks filed 29 October 2025 pages 9-11, have been fully considered but they are not persuasive. Applicant submits that the cited references (mainly Zhang) do not teach “the at least one heat exchange mechanism providing a back surface of the at least one UV lamp module assembly in contact with the fluid in the at least one irradiation chamber” or “a support structure coupled to a back surface of the UV lamp assembly” with respect to independent claims 1, 15, and 29, asserting that the back surface of the UV lamp module assembly must extend with heat sink 308 outside the container therefore cannot meet the limitations wherein the back surface is “positioned within the irradiation chamber…at a distance from the sidewall” or “in contact with the fluid in the at least one irradiation chamber”.
Examiner respectfully disagrees. The UV lamp module assembly as defined by the claim requires one or more UV radiation sources, at least one UV-transparent window, one or more seals or gaskets, and at least one heat exchange mechanism assigned the structure of “one or more of a printed circuit board, a metal core printed circuit board, a thermoelectric cooling device, a vapor chamber, a heatsink, a heat dissipation structure, a thermal transfer material, and a material thermally coupled to a fluid” (Specification par 0027). Even just the surface of the heat sink 308 that abuts the UV source 316 reads upon the claimed structure e.g. “a thermal transfer material” and thermally couples “a back surface of the UV lamp module assembly” with the fluid. Regarding the support structure, the flange nut 306 secures the UV lamp module assembly in place inside the container (note that the support structure is not required by the claims to be fully located within the chamber, only that it secures the UV lamp assembly inside the chamber) via the threaded connection extending from heat sink 308, which Zhang meets as the support mechanism secures the UV lamp assembly i.e. the space bounded by heat sink 308 and UV window 312 containing the UV light source, at a distance from the container wall (see Zhang FIG. 3B).
Conclusion
49. Any inquiry concerning this communication or earlier communications from the examiner should be directed to Eric Talbert whose telephone number is (703)756-5538. The examiner can normally be reached Mon-Fri 8:00-5:00 Eastern Time.
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/ERIC TALBERT/Examiner, Art Unit 1758
/MARIS R KESSEL/Supervisory Patent Examiner, Art Unit 1758